John C. Parker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Carl Parker was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2013 - September 18, 2014
CHART GROUP ADVISORS, LLC
February 27, 2008 - June 22, 2011
AUERBACH GRAYSON & COMPANY LLC
September 8, 2005 - September 6, 2007
GLOBAL SECURITIES (USA), INC.
April 20, 1999 - May 9, 2005
PORTIGON SECURITIES INC.
September 2, 1998 - April 23, 1999
SANTANDER INVESTMENT SECURITIES INC.
July 1, 1998 - July 1, 1999
ABN AMRO SECURITIES LLC
November 27, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
August 11, 1994 - October 22, 1996
SALOMON BROTHERS INC.
November 19, 1991 - August 1, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHART GROUP ADVISORS, LLC
CRD#: 118814 / SEC#: , 8-53690
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
